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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-10-16 |
| TX | RA | APPROVED | 2023-10-02 |
Branch Locations
3100 West Ray Rd Suite 334, Chandler, AZ 85226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 08/2016 | 12/2019 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 08/2023 | Present |
| Proper Paths Llc | Mesa | AZ | 07/2022 | 05/2023 |
| Kathleensimonds.cOm | Mesa | AZ | 01/2020 | Present |
(1) NAME OF BUSINESS: KATHLEENSIMONDS.COM NON-INVESTMENT RELATED; ADDRESS: MESA, AZ 85204; POSITION: HYPNOTHERAPIST, Trauma Recovery Coach, OWNER; START DATE: 01/2020; APPROXIMATE HOURS PER MONTH: 0-20 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Mental Health Coaching (2) NAME OF BUSINESS: Proper Paths LLC NON-INVESTMENT RELATED; ADDRESS: MESA, AZ 85204; POSITION: Behavioral Health Technician START DATE: 07/2022; APPROXIMATE HOURS PER MONTH: 0-20 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Mental Health & Addiction counseling
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-13 |
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